The U.S. Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Euro Solar Parks, Inc. (Euro Solar) of Ho-Ho-Kus, New Jersey, commencing at 9:30 a.m. EDT on March 28, 2011, and terminating at 11:59 p.m. EDT on April 8, 2011.
The Commission temporarily suspended trading in the securities of Euro Solar because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, the identity of the persons in control of the operations and management of the company, the amount of sales and customer orders received by Euro Solar, and contracts entered into by Euro Solar.
The Commission cautions broker-dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, it should refrain from entering quotations relating to Euro Solar’s securities until such time as it has become familiar with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-64129)
Agencies Announce Consideration of Risk Retention Notice of Proposed Rulemaking
The staffs of the Office of the Comptroller of the Currency, the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, the Federal Housing Finance Agency, and the Department of Housing and Urban Development (together, the Agencies) announced that the Agencies this week are considering for approval a notice of proposed rulemaking that addresses section 941 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act), which added a new section 15G to the Securities Exchange Act of 1934 (15. U.S.C. § 78o-11). All of the Agencies participating in this joint rulemaking process are expected to consider the rule this week and a detailed public announcement will be made when this process is complete. If approved, the Agencies will publish in the Federal Register a notice of proposed rulemaking that addresses section 941 of the Dodd-Frank Act, for public comment.
Section 941 requires the Agencies to prescribe rules to require that a securitizer retain an economic interest in a material portion of the credit risk for any asset that it transfers, sells, or conveys to a third party. The chairperson of the Financial Stability Oversight Council is tasked with coordinating this rulemaking effort. (Press Rel. 2011-74)
SEC Blocks Attempt By Connecticut Fund Manager to Divert Funds From Petters Ponzi Scheme Victims
The Securities and Exchange Commission today announced it has obtained an emergency court order to halt an attempt by a Connecticut-based fund manager to divert to himself and others settlement funds intended for U.S. victims of a Ponzi scheme operated by Minnesota businessman Thomas Petters.
The SEC has charged Marlon M. Quan with facilitating the Petters fraud and funneling several hundred million dollars of investor money into the scheme. The SEC alleges that Quan and his firms (Stewardship Investment Advisors LLC and Acorn Capital Group LLC) invested hedge fund assets with Petters while pocketing more than $90 million in fees. They falsely assured investors that their money would be safeguarded by “lock box accounts” to protect them against defaults. When Petters was unable to make payments on investments held by the funds that Quan managed, Quan and his firms concealed Petters’s defaults from investors by concocting sham round trip transactions with Petters.
In its emergency court action, the SEC alleges that Quan, despite a glaring conflict of interest, more recently negotiated an agreement to divert a settlement payment of approximately $14 million relating to a receivership and a bankruptcy of Petters’s entities. Although he purportedly negotiated on behalf of his U.S. fund investors, Quan’s U.S. victims would receive no money under this agreement.
At the SEC’s request, the Honorable Ann D. Montgomery of the U.S. District Court for the District of Minnesota ordered that the money – paid into a firm affiliated with Quan’s Acorn Capital Group LLC – be placed into a segregated account and frozen until further order of the court. A hearing will be held on April 14 to determine the SEC’s request for additional emergency relief for investors.
“Quan falsely assured his fund investors about safeguards that did not exist and made up phony transactions to hide Petters’s defaults, all while he pocketed millions of dollars in fees,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Our action shows that we will relentlessly pursue illegal profits stolen from innocent investors through Ponzi schemes.”
In the attempt blocked by the SEC, Quan had arranged for nearly $6 million of the settlement amount to be paid to a German bank, more than $7 million to be paid to a liquidator appointed by a Bermuda court for certain overseas fund investors, and approximately $862,500 to be directed to pay Quan’s lawyers and other expenses.
The SEC previously charged Petters and Illinois-based fund manager Gregory M. Bell with fraud, and filed additional charges against Florida-based hedge fund managers Bruce F. Prévost and David W. Harrold for facilitating the Petters Ponzi scheme.
According to the SEC’s complaint, Petters sold promissory notes to feeder funds like those controlled by Quan and his firms. Petters used some of the note proceeds to pay returns to earlier investors, diverting the rest of the cash to his own purposes. Petters had promised investors that their money would be used to finance the purchase of vast amounts of consumer electronics by vendors who then re-sold the merchandise to such retailers as Wal-Mart and Costco. In reality, this “purchase order inventory financing” business was merely a Ponzi scheme. There were no inventory transactions.
The SEC alleges that Quan and his firms funneled money into the Petters Ponzi scheme beginning as early as 2001 and continuing through 2008. Quan, who lives in Greenwich, Conn., sold interests in his Stewardship Funds to individuals, charities, companies and other hedge funds. He falsely assured investors of several procedures that Acorn Capital Group purportedly undertook to protect the investors in his hedge funds. However, Quan and his firms implemented none of these safeguards.
The SEC further alleges that Quan falsely assured existing and new investors that the Quan Hedge Funds were doing well when in reality Petters began defaulting on the investments they held. Instead of disclosing these defaults to his fund’s investors, Quan embarked on a series of convoluted transactions in which he exchanged $187 million with Petters Co. in “round trips” that created the false appearance that Petters was making his payments.
The SEC’s complaint charges Quan and his firms with violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206-4(8) thereunder. The SEC seeks entry of a court order of permanent injunction against Quan and his firms as well as an order of disgorgement, prejudgment interest and financial penalties. The SEC also seeks equitable relief against relief defendants Florene Quan, wife of Defendant Quan, and Asset Based Resource Group LLC, an affiliate of Acorn Capital Group LLC.
Sally J. Hewitt, Donald A. Ryba, Charles J. Kerstetter and Peter K.M. Chan of the SEC's Chicago Regional Office conducted the SEC’s investigation. Frank Hooper and Marie Hagelstein of the SEC’s Boston Regional Office’s examination staff also assisted in the SEC’s investigation. The SEC’s litigation is led by John E. Birkenheier of the SEC’s Chicago Regional Office. The SEC acknowledges the assistance of the Bermuda Monetary Authority.
The SEC's investigation is continuing.
(Press Rel. 2011-75)
In the Matter of Anthony Fareri
On March 28, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Anthony Fareri (Fareri or Respondent) based upon the entry of a permanent injunction entered against him in the United States District Court for the Southern District of Florida (SEC v. Anthony Fareri, et al., Civil Action Number 09:80360).
In the Order, the Division of Enforcement alleges that on February 28, 2011, the United States District Court for the Southern District of Florida entered a judgment of permanent injunction against Fareri, which permanently enjoined him from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court further enjoined Fareri from participating in an offering of penny stock.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-64134; File No. 3-14310)
Securities and Exchange Commission Orders Hearing on Registration Revocation Against Sporlox Corp. for Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of Sporlox Corp. (Sporlox) for failure to make required periodic filings with the Commission.
In this Order, the Division of Enforcement (Division) alleges that Sporlox is delinquent in its required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of the Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64135; File No. 3-14311)
SEC Sues Houston Businessman for Fraudulent Conduct in Connection with Investment Advisory Firm
On March 25, 2011, the Commission filed suit in U.S. District Court in Houston against Daniel Sholom Frishberg (Frishberg), principal of Daniel Frishberg Financial Services (DFFS), a Commission-registered investment adviser. This suit is related to S.E.C. v. Albert Fase Kaleta and Kaleta Capital Management, Case No. 4:11-cv-01097 (S.D. Tex.) (For further information, see Litigation Release No. 21293 (November 13, 2009)).
The Commission alleges that DFFS, with Frishberg’s approval, advised its clients to invest in notes issued by Kaleta Capital Management (KCM), a private company owned by Frishberg associate Albert Fase Kaleta, and by Business Radio Networks, L.P. d/b/a “BizRadio” (BizRadio), a struggling media company controlled by Frishberg and Kaleta. According to the complaint, Frishberg authorized Kaleta to offer the notes to clients, but failed to provide clients with critical disclosures. The Commission alleges, for example, that investors were not told of BizRadio’s poor financial condition and likely inability to repay its notes. The Commission further alleges that investors were not told of Frishberg’s significant conflicts of interest in the note offerings, such as the fact that the note proceeds funded BizRadio’s operating expenses, including Frishberg’s and Kaleta’s salaries.
The complaint alleges that Frishberg violated Section 206(2) of the Investment Advisers Act of 1940 (Advisers Acand aided and abetted violations of Sections 206(1) and 206(2) of the Advisers Act. Without admitting or denying the Commission’s allegations, Frishberg consented to the entry of a permanent injunction against these violations and to pay a $65,000 civil penalty. Frishberg has also consented to the institution of follow-on administrative proceedings that will bar him from association with an investment adviser. [SEC v. Daniel Sholom Frishberg, Civ. Action No. 4:11-cv- 01097 (United States District Court for the Southern District of Texas, Houston Division] (LR-21901)
SEC Charges Stock Promoters with Market Manipulation
The Securities and Exchange Commission announced that it filed a civil injunctive action against Joseph Catapano (Catapano) and Michael Piervinanzi (Piervinanzi), alleging that they engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stock of Euro Solar Parks, Inc. (Euro Solar).
The complaint, filed on March 25, 2011 in federal court in Brooklyn, New York, alleges that beginning in at least February 2011, Catapano and Piervinanzi engaged in an undisclosed kickback arrangement with an individual (Individual A) who claimed to represent a group of registered representatives with trading discretion over the accounts of wealthy customers. Catapano and Piervinanzi promised to pay a 30% kickback to Individual A and the registered representatives he purported to represent in exchange for the purchase of up to $3 million of Euro Solar stock through the customers' accounts.
The complaint further alleges that from February 16-18, 2011, Catapano instructed Individual A to purchase approximately 130,000 shares of Euro Solar stock for a total of approximately $31,000 through matched trades using detailed instructions concerning the size, price and timing of the purchase orders. Thereafter, Catapano paid Individual A a bribe of $8,800.
The complaint charges Catapano and Piervinanzi with violating Section 17(a) of the Securities Act of 1933 and Sections 9(a)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The Commission seeks permanent injunctive relief from the Defendants, disgorgement of ill-gotten gains, if any, plus pre-judgment interest, and civil penalties from Catapano and Piervinanzi, and a judgment prohibiting Piervinanzi from participating in any offering of penny stock.
The Commission acknowledges assistance provided by the U.S. Attorney's Office for the Eastern District of New York and the Federal Bureau of Investigation in this matter. [SEC v. Joseph Catapano and Michael Piervinanzi, Civil Action No. 11 Civ. 1476 (KM) (E.D.N.Y.)] (LR-21902)
SEC Obtains Asset Freeze And Other Relief in $47 Million Offering Fraud
On March 25, 2011, the Securities and Exchange Commission obtained an emergency asset freeze in a $47 million offering fraud and Ponzi scheme orchestrated by John Scott Clark (Clark) through Impact Cash, LLC and Impact Payment Systems, LLC (collectively Impact), companies owned and controlled by Clark, which operated an online payday loan company. In addition to the asset freeze, the court has appointed a receiver to preserve and marshal assets for the benefit of investors. That Receiver is Gil A. Miller.
The complaint alleges that from March 2006 through September 2010, Impact and Clark (by himself and through sales persons) raised more than $47 million from at least 120 investors for the stated purposes of funding payday loans, purchasing lists of leads for payday loan customers, and paying the operating expenses of Impact. The complaint further alleges that Clark did not deploy investor capital to make payday loans as represented, but instead diverted investor funds to maintain a lavish lifestyle, including buying expensive cars, art and a home theatre system. Clark also misappropriated investor money to fund outside business ventures and used new investor funds to pay purported profits to earlier investors.
The Commission’s complaint charges Impact and Clark with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and charges Clark with violations of Section 15(a) of the Exchange Act. The complaint seeks a preliminary and permanent injunction as well as disgorgement, prejudgment interest and civil penalties from Impact and Clark. [SEC v. Clark, et al. Civil No.: 1:11-cv-00046-DAK (USDC Utah)]
The SEC acknowledges the assistance of the Utah Division of Securities in this matter. [SEC v. John Scott Clark, Impact Cash, LLC and Impact Payment Systems, LLC (USDC Utah] (LR-21903)
District Court Enters Final Judgment Against Defendants Gaston E. Cantens and Teresita Cantens
The Commission announced that on March 24, 2011, the United States District Court for the Southern District of Florida entered a final judgment against defendants Gaston E. Cantens and Teresita Cantens.
The consented final judgment permanently restrains and enjoins the Cantens from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 promulgated thereunder; provides for full injunctive relief and disgorgement, on a joint and several basis, of $5,276,750, along with prejudgment interest of $88,297.62; and forgoes seeking payment of civil penalty under Section 20(d) of the Securities Act and Section 21(d) of the Exchange Act based on the Cantens’s asserted inability to pay as evidenced by their sworn financial statements and supporting documents submitted to the Commission staff.
The complaint filed by the Commission on March 3, 2010, alleged among others that the Cantens, through their company, Royal West Properties, Inc. (Royal West), a Miami, Florida-based real estate developer, conducted an affinity fraud and Ponzi scheme that raised over $135 million from more than 400 investors, primarily from South Florida’s Cuban exile community. From at least 1993 through January 2009, Royal West offered and sold promissory notes to investors by guaranteeing 9%-16% annual returns over a set period of years. Royal West, however, operated at a loss since at least 2002 and used new investor funds to pay principal and interest to earlier investors and to fund its ongoing business operations. As of May 2009, when investors placed Royal West into involuntary bankruptcy, it owed investors approximately $47.7 million in principal alone, which Royal West had no ability to repay. [SEC v. Gaston E. Cantens and Teresita Cantens, Case No.: 10-CV-20635-PAS (S.D. Fla.)] (LR-21904)
Former Broker Settles Charges Arising From Scheme to Defraud Institutional Customer
The Securities and Exchange Commission today announced that on March 25, 2011, the Honorable George B. Daniels of the United States District Court for the Southern District of New York entered a final judgment on consent against Defendant Jose O. Vianna, Jr., a former registered representative of Maxim Group LLC, a registered broker-dealer. The judgment (i) permanently enjoined Vianna from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and from violating, or aiding and abetting violations of, Section 17(a) of the Exchange Act, and Rule 17a-3, thereunder; (ii) ordered Vianna to disgorge $306,412 in ill-gotten gains plus $47,442 in prejudgment interest thereon; and (iii) ordered Vianna to pay a $130,000 civil penalty.
The SEC’s complaint, filed on March 9, 2010, alleged that between July 2007 and March 2008, Vianna, while a registered representative at Maxim Group LLC, diverted profitable trades from the account of a large Spanish bank, referred to in the complaint as Customer A, to the account of Relief Defendant Creswell Equities, Inc., a British Virgin Islands company. The complaint alleged that Vianna simultaneously entered orders in the accounts of Customer A and Creswell to trade the same amounts of the same stock. Each time, he placed a buy order in one customer’s account and a sell order in the other customer’s account. When the market moved to make Customer A’s trade profitable and Creswell’s trade unprofitable, Vianna improperly misused his access to Maxim’s order management system to divert Customer A’s profitable trade to Creswell by changing Maxim’s records to switch the identity of buyer and seller to the trade.
Creswell previously agreed to settle the SEC’s claim against it by consenting to the entry of a judgment ordering Creswell to pay $1,661,650.18 in disgorgement. [SEC v. Jose O. Vianna, Jr. and Creswell Equities, Inc., Case No. 10 Civ. 1842 (GBD) (S.D.N.Y.)] (LR-21905)
Accelerated Approval of Proposed Rule Changes
Chicago Stock Exchange filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-CHX-2011-01) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding proxy voting by participants. Publication of the proposal is expected in the Federal Register during the week of March 28. (Rel. 34-64121)
NASDAQ OMX PHLX has filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-PHLX-2011-03) relating to discretionary proxy voting on executive compensation matters. Publication of the proposal is expected in the Federal Register during the week of March 28. (Rel. 34-64122)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 SCHLUMBERGER LTD /NV/, 5599 SAN FELIPE, 17TH FLOOR, HOUSTON, TX, 77056, 7135132000 - 30,000,000 ($2,574,300,000.00) Equity, (File 333-173055 - Mar. 25) (BR. 04C) S-1 Victory LG Inc., 1844 S. 3850 WEST #B, SALT LAKE CITY, UT, 84104, 877-262-5154 - 8,000,000 ($8,000.00) Equity, (File 333-173056 - Mar. 25) (BR. ) S-4 Dycom Investments Inc, 11770 US HIGHWAY 1, SUITE 101, PALM BEACH GARDENS, FL, 33408, 561.627.7171 - 0 ($187,500,000.00) Debt, (File 333-173057 - Mar. 25) (BR. 06) S-1 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706, 011 972-54-7909058 - 13,993,217 ($3,778,168.00) Equity, (File 333-173058 - Mar. 25) (BR. 01B) S-3 DYCOM INDUSTRIES INC, 11770 U.S. HIGHWAY 1, SUITE 101, PALM BEACH GARDENS, FL, 33408, 5616277171 - 0 ($400,000,000.00) Other, (File 333-173059 - Mar. 25) (BR. 06A) S-8 Trius Therapeutics Inc, 6310 NANCY RIDGE DR SUITE 105, SAN DIEGO, CA, 92121, 858-452-0370 - 0 ($5,388,049.15) Equity, (File 333-173060 - Mar. 25) (BR. 01B) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 752,089 ($3,501,795.39) Equity, (File 333-173061 - Mar. 25) (BR. 03C) S-8 CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 151,187 ($2,607,975.75) Equity, (File 333-173062 - Mar. 25) (BR. 03C) F-1 Arcos Dorados Holdings Inc., Roque Saenz Pena 432, B1636FFB Olivos, Buenos Aires, C1, None, 011 54 11 4711 2000 - 0 ($1,077,461,550.00) Equity, (File 333-173063 - Mar. 25) (BR. 05) S-8 NOKIA CORP, KEILALAHDENTIE 4, P O BOX 226, ESPOO FINLAND, H9, 00000, 0358018071 - 0 ($48,312,000.00) Equity, (File 333-173064 - Mar. 25) (BR. 11B) F-3ASR NOKIA CORP, KEILALAHDENTIE 4, P O BOX 226, ESPOO FINLAND, H9, 00000, 0358018071 - 0 ($0.00) Debt, (File 333-173065 - Mar. 25) (BR. 11B) S-8 KOPIN CORP, 695 MYLES STANDISH BLVD, TAUNTON, MA, 02780, 5088246696 - 0 ($28,243,432.00) Equity, (File 333-173066 - Mar. 25) (BR. 10B) S-8 ON TRACK INNOVATIONS LTD, P O BOX 32, ZHR INDUSTRIAL ZONE, ROSH PINAISRAEL, L3, 2126616500 - 950,000 ($2,251,500.00) Equity, (File 333-173075 - Mar. 25) (BR. 10C) S-3 ENERGY PARTNERS LTD, 201 ST CHARLES AVENUE, NEW ORLEANS, LA, 70170, 5045691875 - 0 ($400,000,000.00) Other, (File 333-173076 - Mar. 25) (BR. 04A) S-8 Oconee Federal Financial Corp., 115 E. NORTH SECOND STREET, SENECA, SC, 29678, (864) 882-2765 - 0 ($1.00) Equity, (File 333-173077 - Mar. 25) (BR. 07) S-8 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202, 2108214105 - 100,000,000 ($2,789,000,000.00) Equity, (File 333-173078 - Mar. 25) (BR. 11B) S-8 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202, 2108214105 - 90,000,000 ($2,510,100,000.00) Equity, (File 333-173079 - Mar. 25) (BR. 11B) S-1 REMY INTERNATIONAL, INC., 600 CORPORATION DRIVE, PENDLETON, IN, 46064, 800-372-3555 - 0 ($100,000,000.00) Equity, (File 333-173081 - Mar. 25) (BR. 05C) S-8 Atlas Energy, L.P., 110 W. 7TH, SUITE 2300, TULSA, OK, 74119, 918-574-3549 - 0 ($117,792,500.00) Equity, (File 333-173082 - Mar. 25) (BR. 02A) S-8 FUNDTECH LTD, C/O FUNDTECH CORP, 30 MONTGOMERY ST STE 501, JERSEY CITY, NJ, 07302, 2019461100 - 750,000 ($13,177,500.00) Equity, (File 333-173083 - Mar. 25) (BR. 03B) S-8 ACCENTIA BIOPHARMACEUTICALS INC, 324 SOUTH HYDE PARK AVE, SUITE 350, TAMPA, FL, 33606, 8138642562 - 0 ($27,112,323.39) Equity, (File 333-173091 - Mar. 25) (BR. 01B) S-8 BIOVEST INTERNATIONAL INC, 324 S HYDE PARK AVE, SUITE 350, TAMPA, FL, 33606, 813-864-2554 - 0 ($21,166,781.66) Equity, (File 333-173092 - Mar. 25) (BR. 01B) S-8 PC MALL INC, 2555 WEST 190TH STREET, TORRANCE, CA, 90504, 3103545600 - 0 ($3,619,038.00) Equity, (File 333-173093 - Mar. 25) (BR. 02C) F-9 THOMSON REUTERS CORP /CAN/, 3 TIMES SQUARE, NEW YORK, NY, 10036, 6462234000 - 3,000,000,000 ($3,000,000,000.00) Debt, (File 333-173094 - Mar. 25) (BR. 05C) S-8 ALIMERA SCIENCES INC, 6120 WINDWARD PARKWAY, STE 290, ALPHARETTA, GA, 30005, 6789905740 - 0 ($8,733,878.96) Equity, (File 333-173095 - Mar. 25) (BR. 01C) S-4 FTI CONSULTING INC, 500 EAST PRATT STREET, SUITE 1400, BALTIMORE, MD, 21202, 561- 515-1900 - 0 ($400,000,000.00) Other, (File 333-173096 - Mar. 25) (BR. 08A) S-8 NATIONAL RESEARCH CORP, 1245 Q STREET, LINCOLN, NE, 68508, 4024752525 - 300,000 ($9,244,500.00) Equity, (File 333-173097 - Mar. 25) (BR. 01B) S-3 DARA BioSciences, Inc., 8601 SIX FORKS ROAD SUITE 160, RALEIGH, NC, 27615, 919-861-0202 - 0 ($30,000,000.00) Unallocated (Universal) Shelf, (File 333-173098 - Mar. 25) (BR. 01B) S-3 KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, ., SAN DIEGO, CA, 92121, 858-812-7300 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-173099 - Mar. 25) (BR. 11A) N-2 LEGG MASON PERMAL GLOBAL ALTERNATIVES FUND INC., 55 WATER STREET, NEW YORK, NY, 10041, 888-777-0102 - 0 ($1,000,000.00) Equity, (File 333-173101 - Mar. 25) (BR. 16) S-4 Affinion Group, Inc., 6 HIGH RIDGE PARK, STAMFORD, CT, 06905, (203) 956-1000 - 0 ($471,461,250.00) Non-Convertible Debt, (File 333-173103 - Mar. 25) (BR. 03A) S-3D Apartment Trust of America, Inc., 4901 DICKENS ROAD, SUITE 101, RICHMOND, VA, 23230, 804-237-1335 - 0 ($95,000,000.00) Equity, (File 333-173104 - Mar. 25) (BR. 08A) S-4 Affinion Group Holdings, Inc., 6 HIGH RIDGE PARK, STAMFORD, CT, 06905, (203) 956-1000 - 0 ($320,287,500.00) Non-Convertible Debt, (File 333-173105 - Mar. 25) (BR. 03A) S-4 HUNTSMAN INTERNATIONAL LLC, 500 HUNTSMAN WAY, SALT LAKE CITY, UT, 84108, 8015845700 - 0 ($530,000,000.00) Other, (File 333-173106 - Mar. 25) (BR. 06A) S-1 IntraLinks Holdings, Inc., C/O INTRALINKS, INC., 150 E. 42ND STREET, 8TH FLOOR, NEW YORK, NY, 10017, 212-543-7700 - 0 ($279,864,000.00) Equity, (File 333-173107 - Mar. 25) (BR. 03B) S-1 Marina Biotech, Inc., 3830 MONTE VILLA PARKWAY, BOTHELL, WA, 98021, 4259083600 - 0 ($15,000,000.00) Equity, (File 333-173108 - Mar. 25) (BR. 01B) S-3 BGC Partners, Inc., 499 PARK AVENUE, NEW YORK, NY, 10022, 212-610-2200 - 0 ($93,600,000.00) Equity, (File 333-173109 - Mar. 25) (BR. 08C) F-3 BIRKS & MAYORS INC., 1240 SQUARE PHILLIPS, MONTREAL, A8, H3B 3H4, 5143972511 - 0 ($1,308,810.66) Equity, (File 333-173110 - Mar. 25) (BR. 02C) S-4 PETROHAWK ENERGY CORP, 1000 LOUISIANA SUITE 5600, HOUSTON, TX, 77002, 8322042700 - 0 ($400,000,000.00) Debt, (File 333-173111 - Mar. 25) (BR. 04A) S-4 ACCELLENT INC, 200 WEST 7TH AVE, COLLEGEVILL, PA, 19426, 866-899-1392 - 0 ($315,000,000.00) Non-Convertible Debt, (File 333-173112 - Mar. 25) (BR. 10A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 1ST CONSTITUTION BANCORP NJ 8.01,9.01 03/25/11 AASTROM BIOSCIENCES INC MI 5.02,5.03,5.07,8.01, 03/21/11 9.01 ABAKAN, INC NV 1.01,7.01,9.01 03/21/11 ACACIA RESEARCH CORP DE 8.01 03/24/11 ACELRX PHARMACEUTICALS INC DE 2.02,9.01 03/24/11 ACHILLION PHARMACEUTICALS INC DE 1.01,9.01 03/21/11 ACTIVANT SOLUTIONS INC /DE/ DE 5.02 03/25/11 ADA-ES INC CO 2.02,9.01 03/25/11 Addus HomeCare Corp DE 8.01 03/21/11 AEHR TEST SYSTEMS CA 3.01 03/21/11 AETHLON MEDICAL INC NV 1.01,3.02,9.01 03/21/11 Affinion Group, Inc. DE 2.01,9.01 01/14/11 AMEND ALL AMERICAN GROUP INC IN 1.01,5.07,8.01,9.01 03/22/11 Allied World Assurance Co Holdings, A 7.01,9.01 03/25/11 Ally Financial Inc. DE 3.03,5.03,5.07,8.01, 03/22/11 9.01 ALNYLAM PHARMACEUTICALS, INC. 5.02 03/21/11 AMERICAN AIRLINES INC DE 5.02 03/25/11 American Capital Agency Corp 1.01 03/24/11 Ampio Pharmaceuticals, Inc. DE 1.01,2.01,5.07,8.01, 03/23/11 9.01 Ampio Pharmaceuticals, Inc. DE 2.01,7.01,8.01 03/23/11 AMEND AMR CORP DE 5.02 03/25/11 AOL Inc. DE 5.02 03/22/11 APPALACHIAN POWER CO VA 8.01,9.01 03/25/11 ARCHER DANIELS MIDLAND CO DE 5.02,9.01 03/21/11 ARK RESTAURANTS CORP NY 5.07 03/25/11 ASBURY AUTOMOTIVE GROUP INC DE 7.01 03/25/11 ASIAINFO-LINKAGE, INC DE 5.02 03/22/11 ASSOCIATED BANC-CORP WI 8.01,9.01 03/21/11 Atlas Energy, L.P. DE 1.01,2.03,9.01 03/22/11 AXION INTERNATIONAL HOLDINGS, INC. CO 1.01,3.02,9.01 03/22/11 BELLAVISTA CAPITAL INC MD 2.02,9.01 03/25/11 Beneficial Mutual Bancorp Inc X1 2.05 03/25/11 BILL BARRETT CORP 7.01,9.01 03/25/11 BILL BARRETT CORP 7.01,9.01 03/25/11 BIOCLINICA INC DE 1.01,3.03,5.02,9.01 03/21/11 BioNeutral Group, Inc NV 5.02,8.01 03/23/11 BOOKS A MILLION INC DE 1.01,1.02,2.03,5.02, 03/21/11 9.01 BRIDGFORD FOODS CORP CA 5.07 03/23/11 BROADCAST INTERNATIONAL INC UT 3.02 03/21/11 BROADCOM CORP CA 8.01,9.01 03/24/11 BROWN FORMAN CORP DE 7.01,9.01 03/25/11 Bunge LTD 1.01,1.02,2.03,9.01 03/23/11 BUREAU OF NATIONAL AFFAIRS INC DE 8.01 03/22/10 Burger King Holdings Inc DE 5.02 03/23/11 CABLEVISION SYSTEMS CORP /NY DE 5.02 03/22/11 Calumet Specialty Products Partners, DE 1.01,1.02,9.01 03/24/11 CAPSTONE TURBINE Corp DE 1.01,9.01 03/25/11 CCFNB BANCORP INC PA 8.01,9.01 03/25/11 CEDAR FAIR L P DE 7.01 03/24/11 Cell-nique Corp DE 1.01,2.01,3.01,3.03, 03/24/11 5.03,9.01 Celsion CORP DE 2.02,9.01 03/25/11 CENTRAL EUROPEAN DISTRIBUTION CORP DE 3.02 03/22/11 CEPHALON INC DE 1.01,8.01,9.01 03/20/11 CHEMUNG FINANCIAL CORP NY 5.02 03/25/11 CHEMUNG FINANCIAL CORP NY 5.07 03/24/11 China Grand Resorts, Inc. NV 4.01 03/22/11 CHINA PEDIATRIC PHARMACEUTICALS, INC. NV 3.02,9.01 10/15/10 AMEND China Polypeptide Group, Inc. DE 5.02 03/23/11 CHINA RECYCLING ENERGY CORP 5.02 03/21/11 CHYRON CORP NY 1.01,2.03,9.01 03/24/11 CIB MARINE BANCSHARES INC WI 2.02,9.01 03/25/11 CIT GROUP INC DE 8.01,9.01 03/23/11 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 03/25/11 CLEAN HARBORS INC MA 1.01,2.03,9.01 03/21/11 CLIFFS NATURAL RESOURCES INC. OH 8.01 03/23/11 CNL LIFESTYLE PROPERTIES INC MD 8.01 03/24/11 CODORUS VALLEY BANCORP INC PA 5.02 03/22/11 COLGATE PALMOLIVE CO DE 1.01,8.01,9.01 03/22/11 COLOMBIA CLEAN POWER & FUELS, INC NV 1.01,2.03,9.01 03/22/11 COMMERCIAL BARGE LINE CO DE 5.02 03/21/11 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 5.02 03/25/11 CONNS INC DE 3.01 03/25/11 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 03/21/11 CONSTAR INTERNATIONAL INC DE 7.01,9.01 03/21/11 Consumer Capital Group, Inc. 4.01,9.01 03/25/11 AMEND CONTINENTAL RESOURCES INC OK 7.01,9.01 03/25/11 CORNERSTONE HEALTHCARE PLUS REIT, INC MD 8.01 03/21/11 CPS TECHNOLOGIES CORP/DE/ DE 2.02 12/25/10 CRA INTERNATIONAL, INC. MA 5.02 03/22/11 Crestwood Midstream Partners LP DE 8.01,9.01 03/25/11 CROSS BORDER RESOURCES, INC. NV 1.01,9.01 03/24/11 DARLING INTERNATIONAL INC DE 5.02 03/23/11 Delek US Holdings, Inc. 7.01,9.01 03/25/11 Double Eagle Holdings, Ltd. NV 1.01,3.02,5.02,9.01 03/25/11 EACO CORP FL 8.01 03/25/11 EARTHSTONE ENERGY INC DE 5.02,9.01 03/25/11 EASTGROUP PROPERTIES INC MD 1.01,9.01 03/21/11 ECOSPHERE TECHNOLOGIES INC DE 1.01,5.02 03/21/11 Edgen Murray II, L.P. DE 4.01,9.01 03/21/11 EMAGIN CORP DE 8.01 03/21/11 Encore Energy Partners LP DE 8.01,9.01 03/25/11 ENER1 INC FL 5.02,9.01 03/21/11 Energy Transfer Partners, L.P. DE 1.01,9.01 03/22/11 AMEND ENTECH SOLAR, INC. DE 3.02,5.02 03/21/11 ENTRAVISION COMMUNICATIONS CORP DE 1.01,9.01 03/25/11 Essex Rental Corp. DE 8.01,9.01 03/24/11 ETHAN ALLEN INTERIORS INC DE 1.01,2.03,7.01,9.01 03/25/11 Eureka Financial Corp. 8.01,9.01 03/22/11 EVANS BOB FARMS INC DE 7.01,9.01 03/25/11 Excel Trust, Inc. MD 1.01 03/21/11 Federal Home Loan Bank of Atlanta X1 7.01,8.01,9.01 03/21/11 FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 03/25/11 FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 03/25/11 FITWAYVITAMINS, INC. NV 4.01,9.01 03/10/11 AMEND FNB BANCORP/CA/ 8.01,9.01 03/25/11 FRONTIER FUND DE 8.01,9.01 03/25/11 Fuer International Inc. NV 5.02,9.01 03/21/11 FUQI INTERNATIONAL, INC. DE 3.01,7.01,9.01 03/21/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03 03/18/11 GAIN Capital Holdings, Inc. DE 5.02 03/23/11 GARDNER DENVER INC DE 2.04,9.01 03/23/11 GENTA INC DE/ DE 8.01 03/25/11 GENWORTH FINANCIAL INC DE 1.01,8.01,9.01 03/22/11 GEORESOURCES INC CO 2.02,9.01 03/24/11 GEORGIA GULF CORP /DE/ DE 4.01,9.01 03/15/11 AMEND GIBRALTAR INDUSTRIES, INC. DE 5.02,9.01 03/24/11 GLOBAL CASINOS INC UT 3.02 03/18/11 Globalstar, Inc. DE 1.01 03/21/11 GOLDEN GRAIN ENERGY IA 8.01,9.01 03/24/11 GOLDMAN SACHS GROUP INC DE 9.01 03/25/11 GRAHAM CORP DE 5.02 03/24/11 GREAT PLAINS ENERGY INC MO 7.01,9.01 03/25/11 Green Plains Renewable Energy, Inc. 7.01,9.01 03/24/11 GreenPlex Services, Inc. NV 1.01,3.02,9.01 03/21/11 GRUBB & ELLIS CO DE 1.01,8.01,9.01 03/25/11 Grubb & Ellis Healthcare REIT II, Inc MD 1.01,8.01,9.01 03/21/11 HARSCO CORP DE 5.02 03/21/11 HARVEST NATURAL RESOURCES, INC. DE 1.01,9.01 03/21/11 HMN FINANCIAL INC DE 5.03,9.01 03/22/11 Home Federal Bancorp, Inc. MD 8.01,9.01 03/22/11 Horizon Lines, Inc. 8.01,9.01 03/25/11 India Globalization Capital, Inc. MD 1.01,2.03,3.02,9.01 03/24/11 Industry Concept Holdings Inc CO 5.02,9.01 03/25/11 INOLIFE TECHNOLOGIES, INC. 7.01,9.01 03/22/11 INTEGRA BANK CORP IN 3.01 03/21/11 INTERNATIONAL PAPER CO /NEW/ NY 5.02 03/22/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.02,9.01 03/24/11 Invesco Mortgage Capital Inc. MD 1.01,8.01,9.01 03/22/11 James River Coal CO VA 8.01,9.01 03/25/11 KENSINGTON LEASING, LTD. NV 1.01,3.02,9.01 03/23/11 KEYCORP /NEW/ OH 5.02,9.01 03/24/11 KEYCORP /NEW/ OH 8.01,9.01 03/25/11 KRONOS INTERNATIONAL INC DE 8.01 03/24/11 KRONOS WORLDWIDE INC 8.01 03/24/11 LATTICE SEMICONDUCTOR CORP DE 5.02 03/25/11 LIMITED BRANDS INC DE 8.01,9.01 03/25/11 Main Street Capital CORP MD 8.01,9.01 03/25/11 MAINLAND RESOURCES INC. 7.01,9.01 03/25/11 MDC PARTNERS INC A6 1.01 03/25/11 Mercantile Bancorp, Inc. DE 5.02,5.03,9.01 02/11/11 MICROSTRATEGY INC DE 5.02 03/21/11 MID AMERICA APARTMENT COMMUNITIES INC TN 5.02,9.01 03/22/11 Mount Knowledge Holdings, Inc. NV 9.01 03/25/11 AMEND Net Savings Link, Inc. NV 7.01,9.01 03/24/11 NEUROLOGIX INC/DE DE 2.02,9.01 03/25/11 NEW ENERGY TECHNOLOGIES, INC. 5.02,7.01,9.01 03/21/11 NEWBRIDGE BANCORP NC 7.01,9.01 03/25/11 NEWCASTLE INVESTMENT CORP MD 1.01,9.01 03/23/11 NEWTEK BUSINESS SERVICES INC NY 2.02,7.01,9.01 03/16/11 NICOR INC IL 5.02,9.01 03/25/11 NII HOLDINGS INC DE 8.01,9.01 03/24/11 NISOURCE INC/DE DE 5.02 03/22/11 NIVS IntelliMedia Technology Group, I DE 4.01,4.02,9.01 03/23/11 Noble Medical Technologies, Inc. DE 1.01,3.02,9.01 03/21/11 NTN BUZZTIME INC DE 5.02 03/21/11 NVIDIA CORP DE 5.02,9.01 03/21/11 OCEANEERING INTERNATIONAL INC DE 7.01 03/25/11 Oconee Federal Financial Corp. 8.01,9.01 03/24/11 OPTIMER PHARMACEUTICALS INC 5.02,9.01 03/23/11 Orange 21 Inc. DE 2.02,9.01 03/25/11 Orbitz Worldwide, Inc. DE 5.02,9.01 03/21/11 Pacific Ethanol, Inc. DE 1.01,9.01 03/24/11 PACIFIC GAS & ELECTRIC Co CA 8.01 03/24/11 PACIFIC GOLD CORP NV 1.01 03/24/11 PARKER DRILLING CO /DE/ DE 5.02,9.01 03/21/11 PARKERVISION INC FL 1.01,8.01,9.01 03/25/11 PATTERSON COMPANIES, INC. MN 8.01 03/25/11 PCS EDVENTURES COM INC ID 5.02,7.01,9.01 03/24/11 PEOPLES BANCORP INC OH 8.01 03/25/11 PEPSICO INC NC 7.01,9.01 03/25/11 PETROHAWK ENERGY CORP DE 9.01 03/25/11 PETSMART INC DE 5.02 03/22/11 PG&E CORP CA 8.01 03/24/11 Phoenix International Ventures, Inc. NV 5.02,8.01,9.01 03/25/11 Pollex, Inc. NV 1.01,3.02,9.01 03/21/11 POWERDYNE INTERNATIONAL, INC. DE 2.01,5.01,5.06,9.01 02/07/11 PROGRESSIVE CORP/OH/ OH 5.02,9.01 03/23/11 PUGET SOUND ENERGY INC WA 8.01,9.01 03/22/11 PURE BIOSCIENCE, INC. DE 1.01,3.03,8.01,9.01 03/24/11 Qingdao Footwear, Inc. DE 4.01,9.01 03/24/11 QUANTA SERVICES INC DE 5.02,7.01,9.01 03/24/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.02 03/21/11 QUEST DIAGNOSTICS INC DE 1.01,8.01,9.01 03/21/11 Real Mex Restaurants, Inc. DE 5.02 03/23/11 RED HAT INC DE 8.01,9.01 03/21/11 Regency Energy Partners LP DE 1.01,9.01 03/22/11 AMEND REX ENERGY CORP DE 4.01,9.01 03/21/11 RoomStore, Inc. VA 5.02 03/25/11 ROWAN COMPANIES INC DE 7.01,9.01 03/25/11 RURAL/METRO CORP /DE/ DE 5.02 03/25/11 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 8.01 03/25/11 SELECT MEDICAL HOLDINGS CORP 7.01,9.01 03/25/11 SLM FUNDING LLC DE 9.01 03/25/11 SLM FUNDING LLC DE 1.01,9.01 03/25/11 SMITHFIELD FOODS INC VA 2.02,9.01 03/25/11 Specialty Vehicles Liquidating Trust IN 1.01,8.01,9.01 03/22/11 STAMPS.COM INC DE 5.02 03/23/11 STERLING BANCSHARES INC TX 8.01,9.01 03/25/11 STONE ENERGY CORP DE 7.01,9.01 03/24/11 Sunstone Hotel Investors, Inc. MD 5.02,9.01 03/25/11 SUPERTEL HOSPITALITY INC VA 1.02,8.01 03/25/11 SUPREME INDUSTRIES INC DE 1.01,1.02,2.03 03/04/11 SUTRON CORP VA 2.02,9.01 03/21/11 SYNERGY RESOURCES CORP CO 2.01 03/21/11 SYNOPSYS INC DE 5.02,5.07,9.01 03/24/11 T3 Motion, Inc. DE 7.01 03/24/11 TAL International Group, Inc. DE 7.01,9.01 03/25/11 TD AMERITRADE HOLDING CORP DE 5.02 03/22/11 TENGION INC DE 2.02,9.01 03/25/11 TERRACE VENTURES INC NV 3.02,9.01 03/24/11 Tim Hortons Inc. A6 7.01,9.01 03/25/11 Timberline Resources Corp DE 7.01,9.01 03/25/11 TOREADOR RESOURCES CORP DE 7.01,9.01 03/25/11 Tower International, Inc. DE 8.01 03/25/11 TSIC, Inc. DE 7.01,9.01 03/17/11 Tuffnell Ltd. NV 3.03,9.01 03/24/11 TUTOR PERINI Corp MA 5.02,9.01 03/21/11 United American Petroleum Corp. NV 1.01,2.01,2.03,3.02, 12/31/10 AMEND 5.01,5.02,5.03,9.01 UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 03/25/11 UNITED WESTERN BANCORP INC CO 8.01 03/22/11 Vanguard Natural Resources, LLC DE 8.01,9.01 03/25/11 Vantage Health NV 5.06 03/25/11 VASOMEDICAL INC DE 5.02,9.01 03/21/11 VENDUM BATTERIES INC. 1.01,2.03,3.02,9.01 03/23/11 VETERANS IN PACKAGING, INC. NV 4.01,9.01 03/21/11 AMEND Volcano Corp DE 5.02 03/21/11 AMEND Vuzix Corp DE 1.01,2.03,9.01 03/21/11 WALT DISNEY CO/ DE 5.02,5.07,9.01 03/23/11 WAYNE SAVINGS BANCSHARES INC /DE/ DE 7.01,9.01 03/25/11 WELLSTONE FILTER SCIENCES INC /DE/ DE 4.01,9.01 03/17/11 WESTERN LIBERTY BANCORP DE 2.02,9.01 03/25/11 WET SEAL INC DE 2.02,9.01 03/24/11 Wilber CORP 5.07,9.01 03/25/11 WILLIAMS SONOMA INC CA 5.02 03/22/11 WINNEBAGO INDUSTRIES INC IA 5.02,7.01 03/23/11 Wizard World, Inc. DE 4.02 03/21/11 Wizard World, Inc. DE 1.01,5.02,9.01 03/23/11 Wonder Auto Technology, Inc NV 3.01,9.01 03/23/10 WSFS FINANCIAL CORP DE 8.01 03/25/11 XENONICS HOLDINGS, INC. NV 5.07 03/24/11